Julian Korek
Vice Chairman
London
Julian Korek
Compliance and Regulatory Consulting
Our team of experts provides consulting services to investment and private banking, asset management, wealth management and brokerage firms.
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Monique Melis
Managing Director and Global Head of Compliance and Regulatory Consulting
London
Monique Melis
Chris Lombardy
Managing Director
Compliance and Regulatory Consulting
New York
Chris Lombardy
Nicolas Inman
Managing Director
Compliance and Regulatory Consulting
Hong Kong
Nicolas Inman
Ian Manson
Managing Director
Compliance and Regulatory Consulting
London
Ian Manson
Alan Keating
Managing Director
Compliance and Regulatory Consulting
Dublin
Alan Keating
Malin Nilsson
Managing Director
Compliance and Regulatory Consulting
St. Helier
Malin Nilsson
Hannah Rossiter
Managing Director
Compliance and Regulatory Consulting
Paris
Hannah Rossiter
Local and global compliance expertise for the financial services industry.
Duff & Phelps provides a comprehensive range of compliance and regulatory services to the global financial services industry and leading AML and AB&C guidance to firms across all industries. As a trusted partner for clients, we deliver on time, within budget and to the highest quality standards, always striving to exceed expectations. We operate with a non silo approach as one united team to offer a global solution to our clients, who value the clear communication and exemplary service they receive from the start.
Compliance and Regulatory Consulting Services
By Jurisdiction
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
By Jurisdiction
Global Advice and Consulting
Assistance to develop, implement, and manage global compliance and regulatory consulting programs.
Global Advice and ConsultingFilter
- U.S.
- UK
- EU
- Asia
- Ireland
- Channel Islands
- France
- Management Company Services
Key Services by Region
Selected:
U.S.
SEC Registration
SEC RegistrationSEC Mock Examination Services
SEC Mock Examination ServicesInvestment Adviser Services
Investment Adviser ServicesCFTC/NFA Services
CFTC/NFA ServicesBroker-Dealer Services
Broker-Dealer ServicesCompliance Due Diligence
Compliance Due DiligenceSecurities Litigation
Securities LitigationGlobal Fraud and Forensic Investigations
Global Fraud and Forensic InvestigationsMonitoring and Receivership Services
Monitoring and Receivership ServicesInsights
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Events
Duff & Phelps to Sponsor and Speak at GAIM Ops Cayman 2020
September 29 - October 2, 2020 Grand Cayman , Cayman Islands
